East West Highway Project: Resettlement Implementation Report
REPUBLIC OF KAZAKHSTAN
MINISTRY OF INVESTMENT AND DEVELOPMENT
COMMITTEE FOR ROADS
CORRIDOR RECONSTRUCTION PROJECT
CENTER SOUTH ROAD CORRIDOR PROJECT:
KARAGANDA-BALKHASH-BURYLBAITAL ROAD SECTION
FINANCED BY INTERNATIONAL BANK FOR RECONSTRUCTION AND DEVELOPMENT AND THE REPUBLIC OF KAZAKHSTAN
“RESETTLEMENT POLICY FRAMEWORK”
APRIL 2016
Prepared for: Prepared by:
Committee for RoadsMinistry of Investment and Development
of the Republic of Kazakhstan
47 Kabanbai Batyr Ave.,
Astana, Republic of Kazakhstan /
KAZDORNII
Tel: +7 7172 51 81 17
E-mail:
TABLE OF CONTENTS
1. INTRODUCTION……………………………………………………………………………………
/ 41.1. General Information ………………………………….……………………………………......
1.2. Resettlement Policy Framework Objectives ………………………………………………….
1.3. Resettlement Policy Framework ………….…………………………………………………...
1.4. Anticipated Impacts …….…………………………………………………………………….. / 4
4
5
6
2. PROJECT DESCRIPTION ………………………………………………………………………….
2.1 General Information ….…………………………………………………………………......
2.2 Environment Conditions………………….…………………………………………………….. / 10
10
12
3. POLICY, LEGAL AND ADMINISTRATIVE FRAMEWORK ………………………………..…. / 12
4. LAND ACQUISITION PROCESS………………………………………………………………….. / 19
4.1. Involuntary Land Acquisition /Resettlement Basic Provisions ……………………………….… / 20
4.2. Basic Provisions for Resettlement Planning and Implementation …………………..………….. / 21
4.3. Additional Measures ……………………………………………………...... / 22
4.4. Encroachment and Illegal Land Use ………………………...... / 22
4.5. Land Swaps vs. Cash Compensation ………………………………………………………….. / 22
4.6. Methodology for Identification of Project Affected Persons and Assessment ………………… / 22
5. PROPERTY ASSESSMENT AND COMPENSATION PROCESS ………………………………. / 24
5.1. Assessment Process …………………………………………………………………………… / 24
6. PUBLIC CONSULTATIONS AND INFORMATION DISCLOSURE……………………………. / 25
6.1. Institutional Mechanisms and Grievance Redress Mechanisms ……………………………….. / 29
6.1.1. Empowerment ………………………………………………………………………………… / 29
7. GRIEVANCE REDRESS MECHANISM, INCLUDING GRIEVANCES SUBMITTED DURING CONSTRUCTION ……………………………………………………………………… / 29
7.1 Grievance Registration......
7.2 Disclosure of Grievance Consideration Procedure…………………………………………….. / 30
33
8. MONITORING AND ASSESSMENT...... / 34
9. DETERMINATION OF ADDITIONAL COMPENSATION REQUIRED BY THE WB……..… / 35
9.1 Determination and Additional Payments to Socially Vulnerable People ……………………… / 35
9.2 Resettlement Allowance...... / 36
9.3 Significantly Affected Families...... / 36
10. ILLEGAL LAND USERS TREATMENT...... / 37
11. COMPENSATION MONITORING AND ASSESSMENT...... / 37
12. LAND PURCHASE COMPENSATION AND RESETTLEMENT FRAMEWORK ……………... / 38
13. COMPENSATION SCHEME IMPLEMENTATION...... / 41
APPENDIXES
APPENDIX – 1: Public Hearings Minutes
ABBREVIATIONS
Akimat / Local executive authoritiesARP / Brief Resettlement Plan
CfR / Committee for Roads (Ministry of Investment and Development)
DE
CCs
CSC / Design Engineer
Construction Contractors
Construction Supervision Consultant
EA / Environment Assessment
E&S / Ecology and Sociology
EMP / Environment Management Plan
ESIA / Environmental and Social Impact Assessment
FS / Feasibility Study
OHS / Occupational Health Safety
IFI / International Financial Institutions
ME / Ministry of Energy
MID / Ministry of Investment and Development
PAP / Project Affected Person
PMC / Project Management Consultant
RAP / Resettlement Action Plan
RPF / Resettlement Policy Framework
SW / Scope of Work
WB
RPF
RAP
ECM / World Bank
Resettlement Policy Framework
Resettlement Action Plan
Entitlement and Compensation Matrix
1. INTRODUCTION
1.1 General Information
The Government of Republic of Kazakhstan is conducting a program to upgrade the major roads of the country that are managed by the Committee for Roads of the Ministry of Investment and Development. The program is aimed to improve transportation and transit of goods in and around the country, as well as in the surrounding countries, which is a significant and growing contribution to GDP. Transportation of goods to and through Kazakhstan has been increased over the past 10-15 years, as markets have expanded after the breakup of the Soviet Union, and Kazakhstan is now one of the major transit countries. More than two-thirds of goods in Kazakhstan are transported by road, and freight services of domestic and international companies are absolutely evident on the country’s roads.
The projects will also facilitate to the government to strengthen the capacities of agencies, which are responsible for managing the national road network, as well as to prepare and implement road safety and road service improvement action plan that will provide system-wide benefits. The projects will provide services for local, as well as international transportation of general cargo and other goods produced in Kazakhstan and other regions (Russia, Belarus, Tajikistan, Kyrgyzstan and Uzbekistan). Institutional Development Measures include introduction of an efficient road management system that will incorporate modern methods for planning and executing road maintenance, as well as strengthening the capacity of the Committee for Roads of the Ministry of Investment and Development (MID) to efficiently implement all investments.
Detailed elaboration of roads design of the proposed road corridor: Centre South is being made under fourteen (14) road sections: Karaganda – Balkhash – Burylbaital Section is now under development and will be financed by World Bank. The works are carried out by various local design institutions. Under the stipulated reconstruction and new construction, the CR is planning to transform the existing Centre South Road from the existing two lanes to four lanes traffic with dividing strip with bridges and other structures, where necessary. The Detailed Designs are financed by the government, including Environmental Assessment Report (EAR), based on the national laws of Kazakhstan. The preparation of Resettlement Policy Framework (RPF) that applies to the entire Centre South Road Corridor, as well as Environmental and Social Impact Assessment (ESIA) for the entire Corridor in relation to financing of the project by the World Bank.
1.2 Resettlement Policy Framework Objectives
This report represents the updated Resettlement Policy Framework. It has many elements of Resettlement Action Plan (RAP), but is not a full RAP and is based on incomplete data. The full RAP will be based on the project stage of detailed design and take into account all persons, parties, private properties, businesses and legal or illegal ownerships affected by the project, and will represent actions that the Government intends to take to ensure that all losses incurred due to the project are compensated according to the legislation of the Republic of Kazakhstan and World Bank Operational Policies. In case of discrepancies between these two systems, the Government of Kazakhstan has agreed to follow the WB Operational Policies. In addition to the information contained in this document, the final RAP will include census of the status of affected persons based on a census of all affected persons, which will provide more comprehensive understanding of the types and magnitude of impacts of the project and identify any mitigation measures that should be taken to ensure that the affected people benefit from the project, as well as that they will restore or increase their incomes by the project completion. The census can be carried out only after the design is final and full data are available regarding the landholdings, land use, ownership, anticipated losses, estimated value and compensation for the affected properties. Currently, the data are incomplete, thus, the census cannot be undertaken. Consequently, the Updated RPF serves as an interim mechanism to consolidate information and provide directions for next steps.
Once the census and social assessments revised to are completed, and section-specific RAPs are prepared, it is expected that the census will be completed within six months of project effectiveness, and the section-specific RAPs must be completed and approved by the World Bank before the commencement of works that will be authorized in this section.
The overall guiding principle for project design, its implementation and operation, and the key RAP objective is establishing conditions to ensure that all of the project-affected persons must be in equal or better socio-economic positions after the project has been implemented as compared to prior situation.
The secondary objective is provision of clear and unambiguous guidance for all project participants explaining how to manage the entire scope of resettlement issues during the project preparation and its implementation.
1.3 Resettlement Policy Framework
The Resettlement Policy Framework expresses the Government’s general and comprehensive commitment to avoid negative third-party impacts in the investments or to mitigate them to ensure that the affected persons are able to maintain or improve their well-being by the project completion. The Government will implement and enforce its own standards and procedures for land acquisition and compensation uniformly throughout the entire road section with adequate amendments to meet the WB additional requirements, to meet the commitment. This will ensure adherence to international practices and compliance with the WB policy objectives.
The Framework identifies possible impacts of investments, describes anticipated groups of affected persons; clarifies land plots and resettlement principles; assesses the legal framework for land acquisition and resettlement in Kazakhstan; describes standard procedures for actions and methods of redress; and outlines steps that will be taken to plan, obtain concurrence from the WB, as well as for implementation and monitoring of the impacts of land acquisition and resettlement along the Corridors.
This Resettlement Policy Framework incorporates Kazakhstani laws and procedures for actions execution and the WB Resettlement Policies. This requirement applies to all the persons whose private land status is affected permanently or temporarily due to reconstruction of the Corridor section financed by the WB, including purchase and temporary use during construction. This requirement also applies to people who use state land plots legally and illegally, and is changed as the result of the investment. The Policy Framework does not apply to state land plots i.e. which are transferred from one State authority to another, or used for the reconstruction of the road, however if there are adverse impacts on other people as a result of transferring or use then RPF will be applied.
After the approval by the WB and the Government of the Republic of Kazakhstan, RPF will become a part of the respective financing agreements between the Government and the World Bank. RPF and future RAPs will be referenced to the Loan Agreement between the Government of the Republic of Kazakhstan and the World Bank for this project.
Provisions of this RPF shall be applied to all sections of the Center-South project of “Karaganda-Balkhash-Burylbaital” road section; and in case of inclusion of any road sections for reconstruction to be financed by the World Bank, provisions and guidelines of this RPF will be strictly applied.
Resettlement Program is based on the following principles:
· It is necessary to avoid or, at least, minimize involuntary resettlement;
· Compensation must ensure the preservation of living standards of PAPs, which they had before the project implementation;
· PAPs should be fully informed and consulted on options for compensation;
· Absence of formal legal rights to land should not be an obstacle to recovery;
· Special attention should be paid to vulnerable groups such as ethnic minorities, households, where the head of household are women, families with elderly people, and the appropriate support should be provided to them to improve their situation;
· Land acquisition and resettlement should be planned and implemented within the project, and the complete compensation costs should be included in the project costs; and
· Compensation/allowances for rehabilitation will be paid before implementation of any works in the land, such as land levelling, demolition and in any cases before impact will occur.
· Bank Safeguard Policy OP 4.12 applies to all components within the program, regardless of the direct, full or partial financing by the Bank.
The overall coordination of the project will be provided by the CR, which will supervise the whole process of resettlement planning and coordination of all issues related to compensation. Given the fact that according to the legislation of the RK, acquisition and repayment involve local executive bodies, the CR will cooperate and rely on akimats of Zhambyl and Karaganda oblasts for many procedures.
1.4 Anticipated Impacts
Primary impacts of reconstruction are expected to be represented by agricultural losses and pastures, above-ground commercial structures, thereby potentially affecting the incomes and well-being of people who own or use the land, resources and facilities. Some losses will be temporary, related to staging (laying down of equipment and materials) and carrying out the construction, others will be permanent.
Three principal impact factors are expected to be applied along the corridor:
· Reconstruction, or strengthening and levelling of the roadway, sometimes with slight widening of the carriageway, within the existing right of way;
· Conversion from single carriageway to dual carriageway within the current right of way or by expanding the right of way;
· Realignment of the existing roadway to adjust curve radius or to construct new bypasses or alternative alignments; and construction of roadside service centres or large traffic interchanges.
Reconstruction:
All of the road reconstruction will consist of strengthening the existing road, including new construction of the existing Centre South Road Corridor from the existing two lanes of the road to four lanes of the carriageway within the existing alignment and right of way, for which land acquisition will be required. Some land will be used temporarily during construction for staging temporary sites, camps and borrow pits.
The standard practice in Kazakhstan includes suggestions for location of borrow pits in the final design, but also leaves the right to select and temporary rent sites to the Contractor. Generally, preference is given to the use of State Land for both purposes, for which local authorities execute rental/extraction agreements with the Contractor. If a Contractor decides to access private land for staging and borrow pits, this procedure is done through a rental/extraction agreement between the Contractor and the private landowner. In such case, under the willing of the concerned buyer, the seller and the buyer jointly draw up the agreement that will be a subject for standard environmental cleanup requirements conformance such as same condition as received and top soil preserved as required.
Transformation:
Quality road is not only road user benefit, but also an important condition for the production, purchase/sales and advertising of a huge number of other benefits. The better roads are constructed, meeting the needs of motorists-road users, the better environment for the development of economy as a whole. Roads are referred to the "infrastructure" facilities; that is that they affect (positively or negatively) the set of branches at once, providing connections between economic agents. The stronger connections between producers, retailers and consumers, the greater amount of goods and services can be created and, respectively used, that is higher satisfaction, wealth, labour productivity, capital, etc. Therefore, the importance of roads for human life and the successful development of the society are difficult to be overestimated, especially in the conditions of accession to the WTO.